Brokerage Operations Associate II – New Accounts

This is a fully remote position, open to applicants in United States.

📋 Description

• Assist with accounts-related tasks throughout the account lifecycle, including onboarding, maintenance, updates, compliance-related cleanup, recurring operational projects, and initiative-driven work.

• Handle daily accounts workflow, encompassing onboarding, maintenance, updates, and closures.

• Take full responsibility for escheatment and abandoned property operations.

• Own the monthly statement and trade confirmation review process entirely.

• Implement legacy cleanup and data hygiene projects to comply with CIP requirements, which includes communication with partners and users.

• Evaluate spreadsheets, exports, and operational lists to detect issues, recognize patterns, and facilitate resolutions.

• Query databases at an operational level to pinpoint and define cleanup tasks, batch remediation, and assess progress.

• Collaborate with New Accounts analysts on daily processing and assist the New Accounts Principal Manager with larger cleanup initiatives.

• Identify processes that can be standardized and integrate them into ongoing workflows, enhancing their efficiency or automating them over time.

• Partner with Product, Engineering, Data, Compliance, and partner-facing teams to convert operational challenges into actionable next steps.

• Report directly to the Director of Operations.

⛳️ Requirements

• Current FINRA Series 7 registration.

• Over 3 years of experience in brokerage or financial services operations in areas such as new accounts, account maintenance, CIP/AML, escheatment, statement review, or similar account operations.

• Proficient in Excel or Google Sheets, comfortable working with large datasets, exports, and reconciliation tasks.

• Knowledge of databases, including tables and fields, and an understanding of how data interconnects for operational data investigation aimed at cleanup and solutions.

• Ability to work independently while also following clear directions when available, or interpreting priorities and determining direction in their absence.

• Strong commitment to follow-through and ownership of assigned tasks and projects.

• Excellent written and verbal communication skills for interactions with partners, users, and internal stakeholders.

• Detail-oriented with a focus on accuracy and reliability in a dynamic, remote work environment.

• Familiarity with AML frameworks, sanctions screening, or identity verification processes.

• Technical proficiency suited for a fintech environment (APIs, data terminology, basic system architecture) and comfort working alongside Product and Engineering teams.

• Bachelor's degree or equivalent experience.

• Enthusiastic about Alpaca’s mission and capable of supporting a global partner and customer base.

• FINRA Series 24 registration, or willingness to pursue this in the future.

• Experience with EDD, KYB, or business entity account support.

• In-depth experience with escheatment or abandoned property programs.

• Advanced experience with statement review, trade confirmation review, or comparable control workflows.

• Interest in leveraging AI tools for more efficient drafting, summarization, and repetitive analysis tasks.

• Previous experience in a B2B, API-driven, or correspondent brokerage environment.

🏝️ Benefits

• Competitive Salary & Stock Options.

• Health Benefits.

• New Hire Home-Office Setup: One-time USD $500.

• Monthly Stipend: USD $150 per month via a Brex Card.